Case Study 8: Where can we get better quality regulatory data and analytics that we can map to our risk framework ?

Published on 22nd March 2022

OUR CLIENT: Global Investment Firm
Founded in the last century, our client is a large US investment management firm offering a range of financial services to customers around the globe.

Headquartered in the United States, and with over one trillion in assets under management, our client is a key player in the North American markets and is listed on the NYSE.

The financial services industry is typically data-driven. Our client was collecting regulatory data but due to it using manual methods to handle this data within its regulatory environment, it was not able to perform the type of quality regulatory compliance and risk regime required. This led to problems with an ever-increasing regulatory load and a realisation that manual gathering and processing was leading to a possible subjectivity, from subject matter experts in dealing with the data. 

Our client wanted to understand its regulatory environment and how it impacted on its risk landscape.  They recognised that their lack of automation led to valuable compliance and risk resources being used for manual gathering rather than higher value work. In addition, manual efforts had led to inconsistency in how the regulatory landscape was monitored.

Technology is neutral, but the emergence of new technologies unlocks the possibilities for innovation within a business and our client embraced this concept and transformed its regulatory compliance operations…

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